Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06759 Orestes Lugo Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter Jason Kraskiewicz Paul Tanner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Orestes Lugo, hereinafter referred to as "Claimant": John T. Gets, Esq., Feldman & Getz, LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06758 Gertrude A. Litwiniec Name of the Respondent Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gertrude A. Litwiniec, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Law Offices of Neal J. Blaher, Orlando, Florida.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert W. Baird & Company, Inc. v. 03-06756 Minneapolis, Minnesota Respondent Robert L Wilson Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Robert W. Baird & Company, Inc. ("Claimant") was represented by Brian D. Trexell, Esq., of Robert W. Baird & Company, Inc., Milwaukee, Wisconsin. Robert J. Wilson ("Respondent") appeared pro

Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "McGinnis Consolidated Case" Consolidated Case Number: 00-01472 Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Christopher Robert Mclnnis 00-01472 Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Lawrence R. Marina, Jr. 00-03153 Case Number: 00-01472 Hearing Site: Las Vegas, Nevada Merrill Lynch, Pierce, Fenner & Smith, Inc., Claimant v. Christopher Robert Mclnnis, Res

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ellens Family Living Trust J.Harold Ellens, TTEE vs. Respondents Raymond, James & Associates, Inc., and Albert L. Glover Case Number: 03-06745 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Ellens Family Living Trust, J. Harold Ellens, TTEE ("Claimant") was represen

AWARD NASD RegobAkin, Inc. 0£Eice of IMipute Reiohitiai In ifaBMttier of tfwAibhiscion Between ""^ Dan Kfingm nd Linda M. Mingw, Cliimanta, V, Steriiiig Foster ft Co., Inc. end Tom Petioplis, RespODBcnts. No. 97-02575 CleSmnxis Dan Mingui and Unda M. MIngut (XlainiBntO were zepicseDted by John E. TUel, Eac^ of Godfiey ft Kehn, 5.C. kicalicd in Applcion, Wiaoonim. Raipoodent* Stcriing Foster ft Co., Inc and Tom Petnplia fllBQioiidenta") eppeax

ARBIFRAriON AWARD NASD REGULATION, INC., OFMCE OF DISPUTE RESOLUTION In the Mdltr.T ot t'lo ArhilMtion Bciwccn CViiig SiegltT N'^ime of Re^pmidp; Grunt.il & Co., !nr. REPRESgNTAIIONf For CldiindiU'Counler-Rpsponfient: Craig Siegler (*Sieglor") was roprt sonterf liy Willidm Coulson. Esq., Adam |. Lovill, Isc^. lUiH Michdel Lvcins, Esq. or Cherry & Flynn, located in rh!(ri< ;o, llliiioi*;. For Kespopdent/Counicr-Clciiiiieint: Grunlrfl & Co., hic". rc;rm

RATIONAL ASSOCIATION (^ SECURITIES DEALERS, INC. In The Matter of Arbitration Between ) DENltIS C. PREHITT C/F JENNIFER ) PERETTl RICHARD R. FLEEGE ClaiMnt V. BLINDER ROBINSON & CO., INC. Respondent V. RUSSELL WARREN STRATTON - Third Party Respondent CONSOLIDATED NASD NO. 87-01986 NASD NO. 87-01981 PROCEDURAL Pursuant to Section 25 (d)(2) of the NASD Code of Arbitration Procedure, Claimant Prevtitt, as custodia

NATinNAL ASSnrrAirON OF r-tfURITIES DEALERS. INC. In Mip Matter of thp Arbitration Between : • •inseph Btase : Siflnev Blase : Claimants : CASE #89-n'i'j3i vs. • : AWARD lilinrler Robinson & Co.. Inc. *: Respondent : CASE SUHHARY In ri claia filed with ttie National Association of Securities Dealers, rnr. on M^frf.li n , 1989, Claimants Josepti ^nd Sidney Blase alleged the Respondent >M-eached ihp firiuriar

tr.A.s.0, NUICXOU. ASSOClSmatir OF SKCBinBS DDIZBS Zb cbe JtettMT of tdM MDiferstido H. a vivatea B. dovar 89-03561 EUea 5. lUvlcl^ Fbr ClAiBHit: H. . Of a SUiott ia Far 8Mpcatent: Saza Jima Fted, Esqt- of Fetacaoa Olllazd Tbuog Self & Asaelin In AfclantSr GeaKgls. Stai of Oalaiflliidt Sitedasiaa 1990. 20, 0589. al^aid OBI Jauacy 10, 1990. BtttOQ* Soa. slgnad on Jteiuary 30. Oblat Stai of Eisetlcls Tteacaton